Soreide Law Group is investigating allegations brought against broker, GIHAN ANIL FERNANDO (also known as: GIHAN RAPHAEL FERNANDO, RAPHAEL FERNANDO) a broker currently listed with CETERA INVESTMENT SERVICES LLC of Houston, Texas, since January of 2024 and formerly with BOK FINANCIAL ADVISORS of Bellaire, Texas.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, from 2020 – 2024, GIHAN ANIL FERNANDO has 45 “Customer Disputes.” The significance of Fernando’s FINRA Customer Complaints is underscored in FINRA NOTICE to MEMBERS 03-49. FINRA conducted a review of the CRD’s of all registered representatives, only .41% had been the subject of 3 or more customer complaints. In other words Fernando’s customer complaints rank him in the top one-hundredth percent of all registered representatives for customer complaints.
GIHAN ANIL FERNANDO, according to FINRA’s BrokerCheck, has been in the securities industry for 22 years and has been listed with 3 firms. His 45 disclosures on his FINRA CRD report are all “Customer Complaints.” All have settled, many with settlement amounts above $100,000.00. The majority of the many alleged complaints were in part: “certain features of the product were misrepresented during sales process.”
According to FINRA’s BrokerCheck, GIHAN ANIL FERNANDO was with BOK FINANCIAL ADVISORS of Bellaire, Texas as both a broker and financial advisor from 03/07/2003 until 11/08/2023, and with MORGAN STANLEY of Houston, Texas, as a financial advisor from 05/24/2002 until 02/04/2003. Fernando was also with MORGAN STANLEY DW INC of Purchase, New York as a broker from 01/04/2002 to 02/04/2003.
If you’ve experienced financial losses due to the actions or recommendations of broker GIHAN ANIL FERNANDO, currently listed with CETERA INVESTMENT SERVICES LLC of Houston, Texas, and formerly with BOK FINANCIAL ADVISORS, Bellaire, Texas, contact Soreide Law Group and speak to an experienced securities lawyer at no cost regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis, no fee if no recovery.
Soreide Law Group is investigating potential investor claims involving RAD Diversified REIT Inc., specifically focusing on whether brokers or financial advisors improperly recommended this non-traded real estate investment trust despite mounting red flags. RAD Diversified REIT raised investor funds to acquire and manage real estate assets nationwide, positioning itself as an accessible way for individuals […]
Investors apparently complained about securities broker Richard James Carlesco Jr. [CRD: 2135988, Liverpool, New York], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carlesco worked for IBN Financial Services Inc. from October 24, 2000, to the present, and later registered with Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. beginning April […]
Investors potentially experienced sales practice violations by securities broker Steven Wallace Schmitt [CRD: 4486457, Paramus, New Jersey], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schmitt worked for Raymond James Associates Inc. since November 9, 2022, and previously worked for Morgan Stanley from October 7, 2016, to November 29, 2022. […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com